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ALABAMA LAW ENFORCEMENT AGENCY OFFICE OF THE SECRETARY

REQUEST FOR PROPOSAL

ACCOUNTANT FOR ALABAMA LAW ENFORCEMENT AGENCY’S RECONCILIATION OF DEPARTMENT OF JUSTICE

EQUITABLE SHARING FUNDS

RFP: ACCOUNTANT FOR ALEA’S RECONCILIATION OF DOJ EQUITABLE SHARING FUNDS

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TABLE OF CONTENTS

1. RFP NAME ......................................................................................................................................................... 3

2. PURPOSE ............................................................................................................................................................ 3

3. INTRODUCTION .............................................................................................................................................. 3 4. PROPOSAL SUBMISSION AND FORMAT .................................................................................................. 3 4.1 SUBMISSION OF PROPOSAL FORMAT AND LAYOUT --------------------------------------------------------- 4 4.2 LOCATION FOR SUBMISSION OF PROPOSAL -------------------------------------------------------------------- 5 4.3 RFP WEBSITE ---------------------------------------------------------------------------------------------------------------- 5 4.4 VENDOR LICENSURE ----------------------------------------------------------------------------------------------------- 5 4.5 COMPLIANCE WITH BEASON-HAMMON ACT (ACT 2012-491) ---------------------------------------------- 5 4.6 PROPOSAL COSTS --------------------------------------------------------------------------------------------------------- 6 4.7 INCIDENTAL COSTS ------------------------------------------------------------------------------------------------------ 6 4.8 RESPONSIVENESS --------------------------------------------------------------------------------------------------------- 6 4.9 REVISIONS TO THE RFP-------------------------------------------------------------------------------------------------- 6 4.10 SOURCES FOR PROPOSAL REQUIREMENTS ---------------------------------------------------------------------- 6 4.11 PROPOSAL VALIDITY ---------------------------------------------------------------------------------------------------- 7 4.12 ORAL PRESENTATIONS ------------------------------------------------------------------------------------------------- 7

5. EVALUATION OF PROPOSALS AND SELECTION OF AWARD WINNER .......................................... 7 5.1 CRITERIA FOR SELECTION --------------------------------------------------------------------------------------------- 7 5.2 RESERVATIONS ------------------------------------------------------------------------------------------------------------ 8 5.3 RESCISSION OF AWARD ------------------------------------------------------------------------------------------------- 8 5.4 FALSE OR MISLEADING STATEMENTS ---------------------------------------------------------------------------- 8 5.5 COMPLETENESS OF PROPOSAL -------------------------------------------------------------------------------------- 8 5.6 CONTRACT AWARD TERMS ------------------------------------------------------------------------------------------- 8

6. CONTRACT LAWS ........................................................................................................................................... 8

7. PROPOSAL REQUIREMENTS ..................................................................................................................... 14 7.1 RESPONDENT INFORMATION ---------------------------------------------------------------------------------------- 14

7.1.1 Respondent’s Organizational Information and Leadership ................................................................... 14 7.1.2 Respondent’s Organizational Background ............................................................................................ 15 7.1.3 Respondent’s Statement on Employees .................................................................................................. 15 7.1.4 Respondent’s References and Related Experiences ............................................................................... 15 7.1.5 Respondent’s State Business and Relationships .................................................................................... 15 7.1.6 Respondent’s Subcontractors................................................................................................................. 15

7.2 GENERAL REQUIREMENTS OF THE RESPONDENT ----------------------------------------------------------- 16 7.2.1 Acknowledgement Statement .................................................................................................................. 16 7.2.2 General Statements ................................................................................................................................ 16

7.3 SPECIFIC REQUIREMENTS OF THE RESPONDENT ------------------------------------------------------------- 16 7.3.1 Asset Forfeiture Equitable Sharing Receipts ......................................................................................... 17 7.3.2 Asset Forfeiture Equitable Sharing Disbursements ............................................................................... 17 7.3.3 Asset Forfeiture Equitable Sharing Bank Balances ............................................................................... 17

7.4 RESPONSE REQUIREMENTS ------------------------------------------------------------------------------------------ 18 7.5 REQUIRED VENDOR DISCLOSURE STATEMENT INFORMATION AND INSTRUCTIONS ---------- 18

8. EXHIBITS ......................................................................................................................................................... 20 8.1 STATE OF ALABAMA VENDOR DISCLOSURE STATEMENT ------------------------------------------------------------- 20 8.2 IMMIGRATION COMPLIANCE CERTIFICATE ------------------------------------------------------------------------------- 20 8.3 IRS FORM W-9 --------------------------------------------------------------------------------------------------------------- 20 8.4 COVER SHEET EXAMPLE ---------------------------------------------------------------------------------------------------- 20


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1. RFP NAME Please consider this ALEA’s Request for Proposal for the following:

Accountant for Alabama Law Enforcement Agency’s Reconciliation of Department of Justice Equitable Sharing Funds

2. PURPOSE The Alabama Law Enforcement Agency (ALEA), is releasing this Request for Proposal (RFP) to seek professional accounting services from an independent third party. The successful Respondent will assist in supplementing and supporting the efforts of current staff of the ALEA, as well as the Department of Justice (DOJ) Asset Forfeiture Money Laundering Section (AFMLS).

3. INTRODUCTION The Alabama Law Enforcement Agency (ALEA) seeks to have a Do Not Spend (DNS) letter removed from the Department of Justice Equitable Sharing Funds provided to the State of Alabama. In order to have the Do Not Spend (DNS) Letter rescinded, it is required that ALEA provide a formal authorization that their equitable sharing account balances determined during the in-house reconciliation have been reviewed and approved to be reasonably accurate; provide evidence confirming the new beginning balance of the DOJ equitable sharing account after the commingling issues noted have been rectified; and verify DOJ funds are maintained/tracked separate and apart from any other funding source.

4. PROPOSAL SUBMISSION AND FORMAT This RFP is issued in accordance with the requirements of Code of Alabama 1975, § 41-16 as well as any other applicable state laws. This RFP is not an offer to contract but seeks the submission of proposals from interested service providers that may form the basis for negotiation of a contract. Proposals must be prepared in compliance with all instructions, conditions and requirements included in this RFP. Respondents are responsible for examining all documentation, schedules and requirements relevant to this RFP, and failure to observe all terms and conditions may cause any submitted proposal to be invalid. Information submitted by respondents must be sufficiently detailed to verify that products and services offered meet or exceed required specifications. Unless otherwise stated, the requirements outlined in this RFP are mandatory, and the State of Alabama, through ALEA, reserves the right to use information available from any source other than respondents in the process of evaluating and selecting a suitable proposal. ALEA reserves the right to reject any or all proposals and to solicit additional proposals if that is determined to be in the best interests of ALEA or the state. Respondents must submit a signed and notarized printed proposal with two (2) additional printed copies. In addition, a digital copy on a CD/DVD or USB flash drive that is properly labeled, and


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containing ALL TECHNICAL AND PRICING DATA, must be submitted. No proposals will be accepted via email. Any proposals submitted, that do not adhere to the instructions for submission, may not be accepted. Whether mailed or hand delivered, proposals must be received in the ALEA office at 301 South Ripley Street, Building B, 5th Floor, Montgomery, Alabama 36130, no later than 4:00 p.m., Central Daylight Time (CDT), October 17, 2016. The proposal and documentation become the property of the State and will not be returned. It is the responsibility of each provider to ensure that the proposal is delivered at the proper time and place. It is the intent of ALEA to evaluate all proposals in a standardized and objective manner. For this reason, proposals that do not conform to the format specified in this RFP and which are not delivered as specified in this RFP may not be considered. 4.1 SUBMISSION OF PROPOSAL FORMAT AND LAYOUT The following requirements should be followed in order for the respondent’s RFP to be valid:

• Font Type: Times New Roman • Font Size: 12pt • Font Style: Regular (no italic font) • Bullets and Numbering: Respondent may use as needed • Line and Paragraph Spacing: Single or 1.0 • Margins: 1” on all sides • Color: Black and White • The printed documents for submission must be 3-hole punched and placed in a 3-

ring binder large enough to hold the entire submission in one binder • Cover Sheet (template at Exhibit 8.4; should be placed in the front of the binder):

o Title of this RFP o Date Submitted o Name of Respondent o Single Point of Contact for the Respondent o Contact Information for the Respondent’s Single Point of Contact

• The printed documents for submission should be tabbed as follows with the required information following the correlating tab as outlined in Section 7 of this RFP:

o Part A: Respondent Information Organizational Information and Leadership Organizational Background Statement on Employees References and Related Experiences State Business Relationships Subcontractors Vendor Disclosure Statement Immigration Compliance Certificate IRS Form W-9

o Part B: General Requirements Acknowledgements Statement (Other related tabs may be added by the respondent in Part B as

needed)


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o Part C: Specific Requirements Specific Requirements Response Asset Forfeiture Equitable Sharing Receipts Asset Forfeiture Equitable Sharing Disbursements Asset Forfeiture Equitable Sharing Bank Balances

• The respondent’s submission may not contain any general images or photos unless they

are necessary to the substance of the proposal. • The respondent’s submission may include company logos. • The respondent’s RFP Document Submission in full may not exceed 30 pages. • All pages in the submission, other than the cover sheet and required forms found in the

Exhibit Section of this RFP, should be numbered. 4.2 LOCATION FOR SUBMISSION OF PROPOSAL Proposals must be received at the location below by the date and time specified above. TO: Alabama Law Enforcement Agency (ALEA) ATTN: Robert Ratliff, Chief Financial Officer ADDRESS: 301 South Ripley Street, Building B, 5th Floor, Montgomery, Alabama 36130 (via Courier or UPS/FedEx) It is the respondent’s sole responsibility to assure delivery at the designated location by the designated time. A RFP received after the deadline may not be accepted and may be disqualified from further consideration. 4.3 RFP WEBSITE This RFP, and all notices, amendments, and public communication regarding this RFP will be posted at the following website: http://rfp.alabama.gov or http://rfp.alabama.gov/publicview.aspx Reasonable effort will be made to maintain reliable and efficient access to this site and its associated content. However, ALEA is not liable for any respondent's problems or errors (including but not limited to missed deadlines) that may arise due to temporary technical failures related to this website. 4.4 VENDOR LICENSURE Before an agreement pursuant to this RFP can be contracted, the respondent must hold all applicable business and professional licenses required to transact business in the State of Alabama. ALEA may require respondents to submit proof of licensure accordingly. 4.5 COMPLIANCE WITH BEASON-HAMMON ACT (ACT 2012-491)

http://rfp.alabama.gov/

http://rfp.alabama.gov/publicview.aspx


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Act 2012-491 of the Alabama Legislature, codified as Code of Alabama 1975, §§ 31-13-1 et seq., regulates Illegal immigration in the State of Alabama. Effective April 1, 2012, all contracts with the State or a political subdivision thereof must comply with the provisions of that law whether or not the respondent has a presence in Alabama or the work will be performed outside of the State. Information regarding Act 2012-491 can be found at the following website: http://immigration.alabama.gov/ Compliance with Act 2012-491 is due upon contract award and not part of the RFP process. 4.6 PROPOSAL COSTS Respondents are solely responsible for the cost of preparing their proposals. Neither ALEA nor the State has any liability for any costs incurred by a prospective respondent, responding to this RFP for the preparation, production, demonstration, presentation or any other work performed prior to the issuance of a contract. If this RFP is cancelled at any time in the proposal process, respondents may not collect any costs incurred in preparation of their proposals. 4.7 INCIDENTAL COSTS All costs associated with travel by the respondent for the project, as well as associated costs for lodging and per diem, must be inclusive as part of the respondent's Cost Proposal. The respondent is expected to cover their own travel and related costs for the project and will not be reimbursed by the State of Alabama. 4.8 RESPONSIVENESS All proposals will be reviewed by ALEA to determine compliance with administrative requirements and instructions specified in this RFP. The respondent is specifically notified that failure to comply with any part of the RFP may result in rejection of the proposal as non-responsive. Any RFP that does not meet the requirements and provide all required documentation may be considered non-responsive. ALEA reserves the right to waive minor administrative irregularities at its sole discretion. 4.9 REVISIONS TO THE RFP In the event it becomes necessary to revise any part of this RFP, addenda will be posted on the RFP website as listed in this RFP. If the changes are of major concern, ALEA may, at its sole discretion, withdraw this RFP and may/may not issue a replacement RFP. Failure to incorporate addenda in submitted responses may result in the Respondent’s proposal being categorized Non-Responsive and may result in disqualification. 4.10 SOURCES FOR PROPOSAL REQUIREMENTS Proposals must be based solely on this RFP. ALEA is not bound by oral explanations or instructions given during the procurement process, unless specifically included in this RFP, or subsequent addenda issued prior to the closing date.

http://immigration.alabama.gov/


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4.11 PROPOSAL VALIDITY Submitted proposals must be valid for at least thirty (30) days. 4.12 ORAL PRESENTATIONS Oral presentations may be requested, if deemed necessary by ALEA. ALEA will not be liable for any costs associated with requested oral presentations.

5. EVALUATION OF PROPOSALS AND SELECTION OF AWARD WINNER After receipt of the proposals, ALEA will evaluate all proposals to determine those respondents that are qualified, and then based solely on its own judgment, will further determine which has offered the best proposal to meet requirements. 5.1 CRITERIA FOR SELECTION Proposals will be evaluated upon the contents of the proposal, information received from other sources, and public knowledge. Selection will be based on all factors listed below and others implicit within this RFP. The presentation sequence of the criteria below does not indicate their precedence but the respondent must satisfy ALEA's requirements in Part A and Part B of this section listed below to be considered for the price competition within Part C.

1) Basic Qualifying Requirements – The respondent’s proposal must meet all format requirements as presented in Section 4 of the RFP. The respondent must provide a response for all portions of the RFP.

2) Evaluation Criteria - All qualified respondents’ proposals will be evaluated and the winning respondent will be selected based on the following criteria. A. Respondent Qualifications

• Respondent’s past experience with professional services of this type and scope; • Ability and willingness of the respondent to perform the services required and

meet the terms of the RFP; • Quality and relevancy of the services being proposed.

B. Support for Performance • The specific information found in the respondent’s proposal will be evaluated to

determine the overall support for the respondent’s ability to perform the items proposed, including an evaluation of any and all documentation provided by the respondent to meet the requirements listed in Section 7.

C. Cost • ALEA awards contracts based on the best value to the state from those qualified

respondents that in ALEA's opinion meets or exceeds the criteria specified for selection as defined by the Alabama Competitive Bid Laws.


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Upon review and evaluation of all proposals, ALEA may select the respondent determined to best meet the needs of the state. Upon selection of a respondent, the state may initiate negotiations for specific contractual terms and conditions. 5.2 RESERVATIONS ALEA reserves the right to award or reject any of the proposals, or any parts thereof, received in response to this RFP, if it is considered to be in the best interest of ALEA, and ALEA reserve the right to solicit additional proposals if so desired. 5.3 RESCISSION OF AWARD If an award is made by ALEA, and prior to execution of a contract, subsequent information indicates that the award was not in the best interests of the state, or that all parties are unable to come to agreement on terms, the awarding party reserves the right to rescind the award and either award the contract to another respondent or reject all proposals. 5.4 FALSE OR MISLEADING STATEMENTS Proposals containing false or misleading statements, or which provide references not supporting attributes or conditions claimed by a respondent may be rejected solely at the awarding parties’ discretion. 5.5 COMPLETENESS OF PROPOSAL A proposal may be rejected if it is conditional, incomplete, contains any alterations of form or other irregularities, or is judged to constitute a deviation from the RFP requirements. 5.6 CONTRACT AWARD TERMS The State plans to execute a public-private partnership contract as a result of this RFP. The award shall be based upon criteria and standards identified in this RFP. The State also reserves the right, at its discretion, to award a Contract by item, group of items, or total Proposal. The respondent(s) selected to provide the services specified in this RFP may enter into a written contractual agreement with the state of Alabama. The terms and conditions of such an agreement will be subject to review and approval by ALEA, the Office of the Governor of Alabama, the Alabama Department of Finance and the Contract Review Permanent Legislative Oversight Committee. The state reserves the right alter the contract terms and/or conditions until the contract is signed by all parties.

6. Contract Laws


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In order for the State of Alabama to execute a Request for Proposal, receive information, and award a contract, the following sections from the Code of Alabama 1975 - to include but not limit to these sections - are as follows1: Code of Alabama 1975, § 41-16-20. When required (a) With the exception of contracts for public works whose competitive bidding requirements are governed exclusively by Title 39, all contracts of whatever nature for labor, services, work, or for the purchase or lease of materials, equipment, supplies, other personal property or other nonprofessional services, involving fifteen thousand dollars ($15,000) or more, made by or on behalf of any state department, board, bureau, commission, committee, institution, corporation, authority, or office shall, except as otherwise provided in this article, be let by free and open competitive bidding, on sealed bids, to the lowest responsible bidder. (b) A "preferred vendor" shall be a person, firm, or corporation which is granted preference priority according to the following: (1) PRIORITY #1. Produces or manufactures the product within the state. (2) PRIORITY #2. Has an assembly plant or distribution facility for the product within the state. (3) PRIORITY #3. Is organized for business under the applicable laws of the state as a corporation, partnership, or professional association and has maintained at least one retail outlet or service center for the product or service within the state for not less than one year prior to the deadline date for the competitive bid. (c) In the event a bid is received for the product or service from a person, firm, or corporation deemed to be a responsible bidder and a preferred vendor where any state higher education institution, department, board, bureau, commission, committee, institution, corporation, authority, or office is the awarding authority and the bid is no more than five percent greater than the bid of the lowest responsible bidder, the awarding authority may award the contract to the preferred vendor. Code of Alabama 1975, § 41-16-24. Advertisement for bids; Opening of bids; Splitting of contracts (a) The Purchasing Agent shall advertise for sealed bids on all purchases in excess of the competitive bid limit as established in Section 41-16-20 by posting notice thereof on a bulletin board maintained outside the office door or by publication of notice thereof, one time, in a newspaper published in Montgomery County, Alabama, or in any other manner, for such lengths of time as the Purchasing Agent may determine. The Purchasing Agent shall also solicit sealed bids or bids to be submitted by reverse auction procedure by notifying all Alabama persons,

1 State Bid Laws can be found at: http://purchasing.alabama.gov/pages/code_alabama.aspx; and at: http://purchasing.alabama.gov/pages/rules_regs.aspx; and at: http://alisondb.legislature.state.al.us/alison_lcc/CoA.aspx

http://purchasing.alabama.gov/pages/code_alabama.aspx

http://purchasing.alabama.gov/pages/rules_regs.aspx

http://alisondb.legislature.state.al.us/alison_lcc/CoA.aspx


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firms, or corporations who have filed a request in writing that they be listed for solicitation on bids for the particular items set forth in the request and the other persons, firms, or corporations the Purchasing Agent deems necessary to insure competition. If any person, firm, or corporation whose name is listed fails to respond to any solicitation for bids after the receipt of three solicitations, the listing may be cancelled by the Purchasing Agent. (b) All bids, except as provided in subsection (d), shall be sealed when received, shall be opened in public at the hour stated in the notice, and all original bids together with all documents pertaining to the award of the contract shall be retained in accordance with a retention period established by the State Records Commission and shall be open to public inspection. (c) If the purchase or contract will involve an amount of the competitive bid limit as established in Section 41-16-20 or less, the Purchasing Agent may make the purchases or contracts either upon the basis of sealed bids, reverse auction procedure, or in the open market. (d) For purposes of this article, a reverse auction procedure includes either of the following: (1) A real-time bidding process usually lasting less than one hour and taking place at a previously scheduled time and Internet location, in which multiple anonymous suppliers submit bids to provide the designated goods or services. (2) A bidding process usually lasting less than two weeks and taking place during a previously scheduled period and at a previously scheduled Internet location, in which multiple anonymous suppliers submit bids to provide the designated goods or services. (e) No purchase or contract involving an amount in excess of the competitive bid limit as established in Section 41-16-20 shall be divided into parts involving amounts of the competitive bid limit as established in Section 41-16-20 or less for the purpose of avoiding the requirements of this article. All such partial contracts involving the competitive bid limit as established in Section 41-16-20 or less shall be void. Code of Alabama 1975, § 41-16-25. Price fixing agreements or collusion Any agreement or collusion among bidders or prospective bidders in restraint of freedom of competition by agreement to bid at a fixed price or to refrain from bidding or otherwise shall render the bids of such bidders void. Each bidder shall accompany his bid with a sworn statement that he has not been a party to such an agreement. Code of Alabama 1975, § 41-16-27. Award of contract; Record of bids; Preference to Alabama commodities, firms, etc. (a) When purchases are required to be made through competitive bidding, award shall, except as provided in subsection (f), be made to the lowest responsible bidder taking into consideration the qualities of the commodities proposed to be supplied, their conformity with specifications, the purposes for which required, the terms of delivery, transportation charges and the dates of delivery provided, that the awarding authority may at any time within 30 days after the bids are


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opened negotiate and award the contract to anyone, provided he secures a price at least five percent under the low acceptable bid. The award of such a negotiated contract shall be subject to approval by the Director of Finance and the Governor, except in cases where the awarding authority is a two-year or four-year college or university governed by a board. The awarding authority or requisitioning agency shall have the right to reject any bid if the price is deemed excessive or quality of product inferior. Awards are final only after approval of the Purchasing Agent. (b) The awarding authority may award multiple purchase contracts resulting from a single invitation-to-bid where the specifications of the items of personal property intended to be purchased by a requisitioning agency or agencies are determined, in whole or in part, by technical compatibility and operational requirements. In order to make multiple awards under this provision, the awarding authority must include in the invitation-to-bid a notice that multiple awards may be made and the specific technical compatibility or operational requirements necessitating multiple awards. Multiple awards of purchase contracts with unique technical compatibility or operational specifications shall be made to the lowest responsible bidder complying with the unique technical compatibility or operational specifications. The requisitioning agency shall provide the awarding authority with the information necessary for it to determine the necessity for the award of multiple purchase contracts under this provision. This subsection (b) shall not apply to contracts for the purchase of personal property for which a service or service contract, whether subject to competitive bidding under this article or not, is necessary to utilize the personal property throughout the period of utilization of the personal property. (c) Each bid, with the name of the bidder, shall be entered on a record. Each record, with the successful bid indicated thereon and with the reasons for the award if not awarded to the lowest bidder shall, after award of the order or contract, be open to public inspection. (d) The Purchasing Agent in the purchase of or contract for personal property or contractual services shall give preference, provided there is no sacrifice or loss in price or quality, to commodities produced in Alabama or sold by Alabama persons, firms, or corporations. (e)(1) Contracts for the purchase of personal property or contractual services other than personal services shall be let by competitive bid for periods not greater than five years and current contracts existing on February 28, 2006, may be extended or renewed for an additional two years with a 90-day notice of such extension or renewal given to the Legislative Council, however, any contract that generates funds or will reduce annual costs by awarding the contract for a longer term than a period of three years which is let by or on behalf of a state two-year or four-year college or university may be let for periods not greater than 10 years. Any contract awarded pursuant to this section for terms of less than 10 years may be extended for a period not to exceed 10 years from the initial awarding of the contract provided that the terms of the contract shall not be altered or renegotiated during the period for which the contract is extended. (2) For purchases of personal property made on or after January 1, 2010, in instances in which the awarding authority determines that the total cost of ownership over the expected life of the


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item or items, including acquisition costs plus sustaining costs, and including specifically life cycle costs, can be reasonably ascertained from industry recognized and accepted sources, the lowest responsible bid may be determined to be the bid offering the lowest life cycle costs and otherwise meeting all of the conditions and specifications contained in the invitation to bid. To utilize this provision to determine the lowest responsible bidder, the awarding authority must include a notice in the invitation to bid that the lowest responsible bid may be determined by using life cycle costs and identify the industry recognized and accepted sources that will be applicable to such an evaluation. (3) Industry recognized and accepted sources may be provided by rules adopted pursuant to the Alabama Administrative Procedure Act by the Green Fleets Review Committee if the review committee is established and enacted at the 2009 Regular Session. If the Green Fleets Review Committee is not enacted at the 2009 Regular Session, the Permanent Joint Legislative Committee on Energy Policy may adopt rules providing industry recognized and accepted sources, pursuant to the Alabama Administrative Procedure Act. (f) Contracts for the purchase of services for receiving, processing, and paying claims for services rendered recipients of the Alabama Medicaid program authorized under Section 22-6-7 which are required to be competitively bid may be awarded to the bidder whose proposal is most advantageous to the state, taking into consideration cost factors, program suitability factors (technical factors) including understanding of program requirements, management plan, excellence of program design, key personnel, corporate or company resources and designated location, and other factors including financial condition and capability of the bidder, corporate experience and past performance and priority of the business to insure the contract awarded is the best for the purposes required. Each of these criteria shall be given relative weight value as designated in the invitation to bid, with price retaining the most significant weight. Responsiveness to the bid shall be scored for each designated criteria. If, for reasons cited above, the bid selected is not from the lowest bidding contractor, the Alabama Medicaid Agency shall present its reasons for not recommending award to the low bidder to the Medicaid Interim Committee. The committee shall evaluate the findings of the Alabama Medicaid Agency and must, by resolution, approve the action of the awarding authority before final awarding of any such contract. The committee shall also hear any valid appeals against the recommendation of the Alabama Medicaid Agency from the low bid contractor(s) whose bid was not selected. (g) Notwithstanding the requirements under Sections 41-16-20, 41-16-21, and this section, contractual services and purchases of personal property regarding the athletic department, food services, and transit services negotiated on behalf of two-year and four-year colleges and universities may be awarded without competitive bidding provided that no state revenues, appropriations, or other state funds are expended or committed and when it is deemed by the respective board that financial benefits will accrue to the institution, except that in the cases where an Alabama business entity as defined by this section is available to supply the product or service they will have preference unless the product or service supplied by a foreign corporation is substantially different or superior to the product or service supplied by the Alabama business entity. However, the terms and conditions of any of the services or purchases which are contracted through negotiation without being competitively bid and the name and address of the recipient of such a contract shall be advertised in a newspaper of general circulation in the


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municipality in which the college or university is located once a week for two consecutive weeks commencing no later than 10 days after the date of the contract. For the purposes of this section, the term Alabama business entity shall mean any sole proprietorship, partnership, or corporation organized in the State of Alabama. (h)(1) For purchases of motor vehicles by the state made on or after January 1, 2010, the lowest responsible bid may be determined to be a bid offering the lowest life cycle costs, if it is determined that the total cost of ownership over the expected life of a motor vehicle, including acquisition costs plus maintenance costs, including specifically life cycle costs, can be reasonably ascertained from industry recognized and accepted sources. The lowest responsible bid shall otherwise meet all of the conditions and specifications contained in the invitation to bid. To utilize this provision to determine the lowest responsible bidder, the state must include a notice in the invitation to bid that the lowest responsible bid may be determined by using life cycle costs and identify the industry recognized and accepted sources that will be applicable to such an evaluation. (2) Industry recognized and accepted sources may be provided by rules adopted pursuant to the Alabama Administrative Procedure Act by the Green Fleets Review Committee if the review committee is established and enacted at the 2009 Regular Session. If the Green Fleets Review Committee is not enacted at the 2009 Regular Session, the Permanent Joint Legislative Committee on Energy Policy may adopt rules providing industry recognized and accepted sources pursuant to the Alabama Administrative Procedure Act. (i) When a single invitation-to-bid specifies a set of deliverables that would be capable of division into separate, independent contracts, the awarding authority, at its discretion, may award a secondary contract for any subset of such deliverables, not to exceed 20 percent of the original contract value, to any Alabama business certified under the Federal HUBZone program whose properly submitted responsible bid does not exceed five percent of the lowest responsible bid. In order to make a secondary award under this provision, the awarding authority shall include in the invitation-to-bid a notice that a secondary award may be made. Code of Alabama 1975, § 41-16-28. Bond for faithful performance Bond in a responsible sum for faithful performance of the contract, with adequate surety, shall be required in an amount specified in the advertisement for bids. Code of Alabama 1975, § 41-16-29. Assignment of contracts No contract awarded to the lowest responsible bidder shall be assignable by the successful bidder without written consent of the awarding authority and requisitioning agency, and in no event shall a contract be assigned to an unsuccessful bidder whose bid was rejected because he was not a responsible bidder. Code of Alabama 1975, § 41-16-30. Criminal offenses


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Neither the Purchasing Agent nor any assistant or employee of his shall be financially interested or have any personal beneficial interest, either directly or indirectly, in the purchase of or contract for any personal property or contractual service, nor in any firm, partnership, association or corporation furnishing any such personal property or contractual services to the state government or to any of its departments, agencies or institutions. Neither the Purchasing Agent nor any assistant or employee of his shall accept or receive, directly or indirectly, from any person, firm, association or corporation to whom any contract may be awarded, by rebate, gifts or otherwise, any money or thing of value whatsoever or any promise, obligation or contract for future reward or compensation, nor shall any person willfully make any purchase or award any contract in violation of the provisions of this article. Any violation of this section shall be deemed a misdemeanor, and any person who violates this section shall, upon conviction, be imprisoned for not more than 12 months or fined not more than $500.00 or both. Upon conviction thereof, any such Purchasing Agent, assistant or employee of his or any person who willfully makes any purchase or awards any contract in violation of the provisions of this article shall be removed from office. Code of Alabama 1975, § 41-16-31. Injunctions Any taxpayer of the area within the jurisdiction of the awarding authority and any bona fide unsuccessful bidder on a particular contract shall be empowered to bring a civil action in the appropriate court to enjoin execution of any contract entered into in violation of the provisions of this article. Code of Alabama 1975, § 41-16-32. Cumulative nature of provisions; Conflict of laws This article shall be cumulative in its nature. All conflicting provisions of law are hereby expressly repealed; however, this article shall in no manner repeal any of the provisions of Chapter 36 of Title 16 of this code or Chapters 2 and 5 of Title 39 of this code or Article 5 of Chapter 4 of this title.

7. PROPOSAL REQUIREMENTS 7.1 RESPONDENT INFORMATION 7.1.1 Respondent’s Organizational Information and Leadership The respondent must specify the name, title, physical office and mailing address, resume and business telephone number of those individuals responsible for the performance under the anticipated contract resulting from this RFP, including those individuals with primary day-to-day responsibility for the services contemplated herein, and specifying their relevant industry experience and location. Please identify a single point of contact for this RFP on the Cover Sheet as shown in Exhibit 8.4.


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7.1.2 Respondent’s Organizational Background Provide a full and complete background description of the organization, including: • Full company or corporate name, physical address of the headquarters office and the office

to serve ALEA; • How the business is organized (proprietorship, partnership, corporation, LLC), parent or

subsidiary corporations; • The year in which the respondent was first organized to do business; • Documentation that the respondent is qualified to transact business within the State of

Alabama in accordance with the Code of Alabama 1975 §§ Section 10-28-15.01, et seq., and possesses a Certificate of Authority issued by the Secretary of State at the time a professional services contract is executed. For the entire term that the contract is in effect the selected provider must continuously be in good standing with the State of Alabama and with any political subdivisions thereof which have jurisdiction over the provider's operations;

• The organization's experience in providing services comparable to the type presented in this RFP;

• Other types of services the respondent provides.

7.1.3 Respondent’s Statement on Employees The respondent must specify the anticipated number of full or part time employees and the role of each in performing the services required in this RFP. 7.1.4 Respondent’s References and Related Experiences Provide a history of the provider's experience in providing services identified as required in this RFP, including a list of at last three (3) references of similar organizations, with complete point of contact information, currently using the professional services which are the same or substantially similar to those specified in this RFP. ALEA reserves the right to contact each organization listed in the proposal. 7.1.5 Respondent’s State Business and Relationships The respondent must state clearly any current or past relationships with the State of Alabama and provide the name and address of the person to contact to verify the relationship. The proposal must include a completed Disclosure Statement using the form described in Exhibit 8.1 of this RFP, signed by a duly authorized officer of the provider organization. 7.1.6 Respondent’s Subcontractors Any subcontractor employed by the respondent in the course of this project must be clearly documented with organizational information.


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7.2 GENERAL REQUIREMENTS OF THE RESPONDENT 7.2.1 Acknowledgement Statement The respondent must submit a statement, signed and dated, with the following: The representatives or designees for (name of respondent) have read, understand, acknowledge, accept and agree to all parts, terms, and conditions of this RFP, the Alabama PSB-RAN. [signed name, printed name of signee, position with the respondent, and date] 7.2.2 General Statements Respondents to this RFP must have clear and convincing expertise, experience, and qualifications as principals in general accounting principles, working with federal funds, and working with state governments. The Respondent must explicitly and fully state their expertise, experience, and qualifications in these areas. 7.3 SPECIFIC REQUIREMENTS OF THE RESPONDENT The Alabama Law Enforcement Agency (ALEA) seeks to hire a third-party independent auditor to perform the reconciliation of the Department of Justice (DOJ) equitable sharing account for The Department of Public Safety and Alcoholic Beverage Control Board which were consolidated into ALEA effective January 1, 2015. The overall purpose of the review is to provide a reconciliation of the equitable sharing account balances for each fiscal year that should have been maintained separate and apart from any other funding source and provide a reasonable update to the Agency's equitable sharing revenues and expenditures reported to AFMLS in prior years and to support ALEA's new starting Equitable Sharing Agreement Certification Report (ESAC) balance. Additionally, the current year's DOJ equitable sharing bank statement balance must be confirmed and reconciled to the DOJ general ledger as necessary utilizing a formal bank confirmation or a verified bank reconciliation. The purpose of this review is to provide a reconciliation of ALEA’s equitable sharing account balances from fiscal year 2011 to present, and to update the equitable sharing revenues, expenditures, and interest reported by ALEA (and its component agencies) to AFMLS in prior years. This includes a review of both Alabama Department of Public Safety (ADPS) and the Alabama ABC Board – Law Enforcement Division (AABC) for fiscal years 2011 to present. A percentage of revenue is not an appropriate reconciliation method since expenditure transactions must be assigned to a specific funding source. Upon completion of the review, please provide the following items to Department of Justice Asset Forfeiture Money Laundering Section (DOJ AFMLS) for all fiscal years reviewed:

• Detailed support for the reconciliation of DOJ equitable sharing revenues and expenditures for the fiscal years reviewed, and amended ESAC based on that reconciliation;

• Bank verification of the current DOJ equitable sharing balance as well as the current fiscal year general ledger reflecting the DOJ equitable sharing fund balance; and


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• Documentation supporting that all DOJ equitable sharing revenues, expenditures, and interest are no longer commingled and are tracked together in a separate account or accounting code.

The Alabama Law Enforcement Agency has established Agreed-Upon Procedures (AUPs) between the Alabama Department of Public Safety (ADPS), Alabama Alcoholic Beverage Control Board - Law Enforcement (AABCBLE) and the Department of Justice Asset Forfeiture Money Laundering Section (DOJ AFMLS). The Respondent must describe how they can complete each of the following tasks in detail. The AUPs are listed below and are based on the financial information in fiscal years ended:

• September 30, 2011 • September 30, 2012 • September 30, 2013 • September 30, 2014 • September 30, 2015 • September 30, 2016

7.3.1 Asset Forfeiture Equitable Sharing Receipts 1. We will obtain Department of Justice E-Share reports and Treasury Distribution reports for

each fiscal year and perform the following:

a. Reconcile equitable sharing funds distributed per reports to receipts posted in the general ledger under the designated funding/department code for the equitable sharing funds as reflected in the agency's chart of accounts.

b. Commingling of DOJ and Treasury Funds is strictly prohibited and will be reported as an exception with true-up adjustments required if commingling identified.

c. Reconcile equitable sharing funds received per the general ledger to amounts reported on the ESAC Annual Certification Reports.

2. We will reconcile interest income per ESAC Annual Certification Reports to ADPS

Equitable Sharing Funds interest bearing account bank statement. 7.3.2 Asset Forfeiture Equitable Sharing Disbursements

1. We will trace disbursements posted in the detail general ledger under the designated funding/

department code for the equitable sharing funds as reflected in the chart of accounts to the ESAC Annual Certification Reports.

2. We will inspect 10 disbursements per month for each year to determine if each is tied to one

specific revenue source - one for one match and each is tied to a true expenditure transaction. 7.3.3 Asset Forfeiture Equitable Sharing Bank Balances

1. We will confirm cash on deposit (interest bearing account) at Sterling Bank and will agree

the confirmed balance to the amount shown on the reconciliation maintained by ADPS for


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each fiscal year. 2. We will confirm the Equitable Sharing Funds cash balances with the State of Alabama

Comptroller's office and reconcile to the designated fund/department code in the general ledger.

3. We will reconcile the ending equitable sharing funds balance reported on the ESAC Annual

Certification Reports to the cash balances reported using the designated fund/department/ revenue code in the general ledger.

4. We will re-perform Asset Forfeiture Equitable Sharing Bank Balances reconciliations. 7.4 RESPONSE REQUIREMENTS Respondents must indicate whether or not they can complete the task as written in the entirety of Section 7. The response to each separate task should indicate if the respondent anticipates any issues in completing tasks as described. The respondent should describe how each task will be completed. 7.5 REQUIRED VENDOR DISCLOSURE STATEMENT INFORMATION AND

INSTRUCTIONS Section 41-16-82, Code of Alabama 1975 requires the disclosure statement to be completed and filed with all proposals, bids, contracts, or grant proposals to the State of Alabama in excess of $5,000. The disclosure statement is not required for contracts for gas, water, and electric services where no competition exists, or where rates are fixed by law or ordinance. In circumstances where a contract is awarded by competitive bid, the disclosure statement shall be required only from the person receiving the contract and shall be submitted within ten (10) days of the award. A copy of the disclosure statement shall be filed with the awarding entity and the Department of Examiners of Public Accounts, and if it pertains to a state contract, a copy shall be submitted to the Contract Review Permanent Legislative Oversight Committee. The address for the Department of Examiners of Public Accounts is as follows: 50N. Ripley Street, Room 3201, Montgomery, Alabama 36130-2101. If the disclosure statement is filed with a contract, the awarding entity should include a copy with the contract when it is presented to the Contract Review Permanent Legislative Oversight Committee. Pursuant to Section 41-16-84 (b), Code of Alabama 1975 the State of Alabama shall not enter into any contract or appropriate any public funds with any person who refuses to provide information as required. Pursuant to Section 41-16-86, Code of Alabama 1975, any person who knowingly provides misleading or incorrect information on the disclosure statement shall be subject to a civil penalty of ten percent (10%) of the amount of the transaction, not to exceed $10,000.00. Also, the contract or grant shall be voidable by the awarding entity.


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Definitions as Provided in Section 41-16-81, Code of Alabama 1975

1. Family Member of a Public Employee – The spouse or a dependent of the public employee.

2. Family Member of a Public Official – The spouse, a dependent, an adult child and his

or her spouse, a parent, a spouse’s parents, or a sibling and his or her spouse, of the public official.

3. Family Relationship – A person has a family relationship with a public official or

public employee if the person is a family member of the public official or public employee.

4. Person – An individual, firm, partnership, association, joint venture, cooperative, or

corporation, or any other group or combination acting in concert.

5. Public Official and Public Employee - These terms shall have the same meanings ascribed to them in Sections 36-25-1(23) and 36-25-1(24), Code of Alabama 1975, (see below) except for the purposes of the disclosure requirements of this article, the terms shall only include persons in a position to influence the awarding of a grant or contract who are affiliated with the awarding entity. Notwithstanding the foregoing, these terms shall also include the Governor, Lieutenant Governor, members of the cabinet of the Governor, and members of the Legislature. (Note: The definitions for public official and public employee are now denoted as Sections 36-25-1 (25) and 36-25-1 (26), Code of Alabama 1975. However, Section 41-16-86 (5), Code of Alabama 1975 has not been codified to reflect such updates.)

Section 36-25-1(25), Code of Alabama 1975, defines a public employee as any person employed at the state, county or municipal level of government or their instrumentalities, including governmental corporations and authorities, but excluding employees of hospitals or other health care corporations including contract employees of those hospitals or other health care corporations, who is paid in whole or in part from state, county, or municipal funds. For purposes of this chapter, a public employee does not include a person employed on a part-time basis whose employment is limited to providing professional services other than lobbying, the compensation for which constitutes less than 50 percent of the part-time employee’s income. Section 36-25-1(26), Code of Alabama 1975, defines a public official as any person elected to public office, whether or not that person has taken office, by the vote of the people at state, county, or municipal level of government or their instrumentalities, including governmental corporations, and any person appointed to a position at the state, county, or municipal level of government or their instrumentalities, including governmental corporations. For purposes of this chapter, a public official includes the chairs and vice-chairs or the equivalent offices of each state political party as defined in Section 17-13-40, Code of Alabama 1975. Complete all lines as indicated. If an item does not apply, denote N/A (not applicable). If you


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cannot include required information in the space provided, attach additional sheets as necessary. THE DISCLOSURE STATEMENT MUST BE SIGNED, DATED, AND NOTARIZED PRIOR TO SUBMISSION.

8. EXHIBITS 8.1 State of Alabama Vendor Disclosure Statement 8.2 Immigration Compliance Certificate 8.3 IRS Form W-9 8.4 Cover Sheet Example


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8.1 State of Alabama Vendor Disclosure Statement

Information Available at: http://ago.state.al.us/Page-Vendor-Disclosure-Statement-Information-and-Instructions

http://ago.state.al.us/Page-Vendor-Disclosure-Statement-Information-and-Instructions


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8.2 Immigration Compliance Certificate


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8.3 IRS Form W-9


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8.4 RFP Cover Sheet Example

RFP NAME: Insert [RFP: ACCOUNTANT FOR ALABAMA LAW ENFORCEMENT AGENCY’S

RECONCILIATION OF DEPARTMENT OF JUSTICE EQUITABLE SHARING FUNDS]

DATE SUBMITTED:

Insert [Month Day, Year]

NAME OF RESPONDENT: Insert [Name of Respondent]

SINGLE POINT OF CONTACT (SPOC) FOR RESPONDENT:

Insert the following: [Name of Individual who will serve as the SPOC]

[Title of Individual] [Physical Address for Respondent] [Mailing Address for Respondent]

[Business Telephone Number for Respondent] [Alternate Telephone Number for Respondent]

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